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Insider Information:   Samuels Steven
Relationship:   10% Owner
City:   Westport
State:   CT
   
Insider Summary:
  
   
Companies Owned :   22    
Direct Shares   85,991    

Indirect Shares

   26,572,593      
Direct Value   $427,471    

Indirect Value

   $42,449,121      
Total Shares   26,658,584      
Total Value   $42,876,592      


Firsthand Technology Value Fund, Inc. $568 Alliance New York Municipal Income Fund $0 Mfs Intermarket Income Trust I $0 Putnam High Income Bond Fund $142,848 Urban Select Capital Corp $110,390 Alliance California Municipal Income Fund $101,956 Western Asset Corporate Loan Fund Inc $71,710 Firsthand Technology Value Fund, Inc. $568 Alliance New York Municipal Income Fund $0 Mfs Intermarket Income Trust I $0 Putnam High Income Bond Fund $142,848 Urban Select Capital Corp $110,390 Alliance California Municipal Income Fund $101,956 Western Asset Corporate Loan Fund Inc $71,710
 


Historical Performance :
Based on 6 Month Return Percentages
Buys 
Sells 

     Total Filings :
    104   
    0    

     Stock price went up :
    87   
    0    
     Stock price went down :
    17   
    0    
   
     Gain/Loss Ratio :
   5.1   
   0.0   
     Percentage Gain/Loss :
   7.6%
   0.0%
     
   
Holdings :
     Menu Company Name Ticker Relation Direct Date Direct Shares Indirect Date Indirect Shares Total Value Sold  
            Special Opportunities Fund Inc SPE Investment Adviser Pri... 2015-01-30 0 2012-09-17 0    Premium*  
            Firsthand Technology Value Fund,... SVVC 10% Owner 2015-04-23 4,148 2015-04-23 580,825    Premium*  
            Imperial Holdings, Llc IFT 10% Owner 0 2015-06-24 2,991,124    Premium*  
            Alliance New York Municipal Inco... AYN 10% Owner 2015-07-20 10,900 2015-07-20 560,212    Premium*  
            Crossroads Capital Inc XRDC 10% Owner 0 2017-06-07 826,327    Premium*  
            DWS Global High Income Fund LBF 10% Owner 0 2016-05-04 480,946    Premium*  
            Mfs Intermarket Income Trust I CMK 10% Owner 2015-09-09 14,089 2015-09-09 1,587,717    Premium*  
            Advent/Claymore Enhanced Growth ... LCM 10% Owner 0 2017-05-17 927,037    Premium*  
            First Trust Active Dividend Inco... FAV 10% Owner 0 2016-10-20 1,951,679    Premium*  
            Virtus Total Return Fund DCA 10% Owner 0 2017-03-22 1,553,860    Premium*  
            Nuveen Global Equity Income Fund JGV 10% Owner 0 2016-09-28 2,194,974    Premium*  
            Neuberger Berman Real Estate Sec... NRO 10% Owner 2016-05-05 0 2016-12-15 4,295,140    Premium*  
            Pacholder High Yield Fund Inc PHF 10% Owner 0 2017-07-07 1,408,152    Premium*  
            Cushing Renaissance Fund SZC 10% Owner 2016-08-10 0 2017-01-17 457,550    Premium*  
            Nuveen Long/short Commodity Tota... CTF 10% Owner 2016-10-28 0 2016-12-08 1,179,781    Premium*  
            Putnam High Income Bond Fund PCF 10% Owner 2018-06-06 21,069 2018-06-06 1,467,199    Premium*  
            Korea Equity Fund Inc KEF 10% Owner 2017-02-08 0 2017-06-21 1,726,574    Premium*  
            Jpmorgan China Region Fund Inc JFC 10% Owner 2017-03-21 0 2017-09-15 845,368    Premium*  
            Putnam Municipal Opportunities T... PMO 10% Owner 0 2017-08-10 0    Premium*  
            Urban Select Capital Corp CH 10% Owner 2017-12-05 21,107 2017-12-05 917,955    Premium*  
            Alliance California Municipal In... AKP 10% Owner 2018-10-04 6,875 2018-10-04 620,173    Premium*  
            Western Asset Corporate Loan Fun... TLI 10% Owner 2019-11-26 7,803 0    Premium*  
* Premium Members only  

Records found :    699         Free Registration Required For Full Results.    Limit: 25

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  Page 18 of 28
Ticker Company Name Relation   Off-Dir-10% Trans. Date Form Action Price Mkt Value D/I Shares    Holdings   
Rank

  
3m +/-  
Form
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-08-09 4 B $9.09 $15,460 I/I 1,700 1,599,495 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-08-11 4 B $9.09 $39,475 I/I 4,345 1,604,950 1.5 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2018-01-19 4 B $9.09 $36,355 I/I 4,000 1,530,215 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-08-19 4 B $9.10 $76,012 I/I 8,353 1,615,996 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-08-22 4 B $9.10 $169,984 I/I 18,688 1,634,688 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-09-30 4 B $9.10 $136,595 I/I 15,004 1,938,979 1.5 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2018-01-11 4 B $9.10 $44,772 I/I 4,920 1,252,222 1.5 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2018-01-17 4 B $9.10 $1,989,129 I/I 218,600 1,484,572 1.5 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2018-01-18 4 B $9.10 $378,947 I/I 41,643 1,526,215 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-08-18 4 B $9.11 $21,800 I/I 2,393 1,607,643 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-08-30 4 B $9.11 $12,754 I/I 1,400 1,690,324 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-10-05 4 B $9.11 $13,670 I/I 1,500 1,940,479 1.5 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2018-01-16 4 B $9.11 $95,687 I/I 10,500 1,265,972 1.5 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2018-01-10 4 B $9.12 $12,923 I/I 1,417 1,247,302 1.5 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2018-01-30 4 B $9.12 $34,591 D/D 3,792 933 2.37 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2018-01-31 4 B $9.12 $139,025 I/I 15,248 1,548,821 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-07-13 4 B $9.13 $91,294 I/I 10,000 1,473,941 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-08-15 4 B $9.13 $2,739 I/I 300 1,605,250 1.42 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-08-23 4 B $9.13 $365,208 I/I 40,000 1,674,684 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-08-29 4 B $9.13 $129,981 I/I 14,240 1,688,924 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-07-12 4 B $9.16 $28,962 I/I 3,163 1,463,941 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-09-02 4 B $9.16 $9,160 I/I 1,000 1,691,324 1.5 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2018-01-29 4 B $9.17 $4,629 D/D 505 505 2.37 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2018-02-01 4 B $9.18 $79,881 I/I 8,700 1,557,521 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-07-14 4 B $9.19 $34,919 I/I 3,800 1,477,741 1.5 -
  699  Records found
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  Page 18 of 28  
 
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  Transaction Code Key: Ownership Code Key
  B - Buy AB - Automatic Buy D - Direct Ownership
  S - Sell AS - Automatic Sell I - Indirect Ownership
OE - Options Exercised A - Aquired
  IO - Initital Ownership D - Disposed
 
 
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